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Investment Adviser · Small ($100M–$1B)
CRD 104784
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ADV data as of Oct 29, 2025
- Regulatory AUM
- $218M
- Discretionary
- $218M
- Clients
- 29
- Avg AUM / client
- $7.5M
- Accounts
- 29
- Employees
- 9
AUM over time
$164M
$421M
Dec 2011
Oct 2025
Annual snapshots from Form ADV filings · as of Oct 29, 2025
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| High net worth individuals | 18 | $26.9M | 12.3% |
| Investment companies | 1 | $92.3M | 42.3% |
| Pooled investment vehicles (non-investment companies) | 1 | $80.4M | 36.8% |
| Charitable organizations | 7 | $11.5M | 5.28% |
| Corporations and other businesses | 2 | $7.1M | 3.26% |
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
Services
- • Portfolio management for individuals/small businesses
- • Portfolio management for investment companies
- • Portfolio management for pooled investment vehicles
- • Portfolio management for businesses/institutional clients
Custody
Reported custodians
- Frost Brokerage Services, Inc. $114M (52% of AUM) Oct 2025
- U.S. Bank $92.3M (42% of AUM) Oct 2025
- Us Bancorp $81.5M (40% of AUM) Feb 2022
- Mufg Union Bank, National Association $69.1M (41% of AUM) Mar 2021
- Union Bank $67.4M (41% of AUM) Mar 2019
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Oct 29, 2025.